After passing the configuration test, you will be required to enter "Guestbook" information (name, e-mail address, etc.). Once you sign the Guestbook, you will enter the Viewer site and the presentation will begin playing automatically.

The Do's and Don'ts of Promotional Material On July 26, 2007 NFA hosted a one-hour Web seminar entitled, "The Do's and Don'ts of Promotional Material". During the Web seminar, NFA specialists in promotional material review gave an overview of NFA Compliance Rule 2-29: "Communication with the Public and Promotional Material". NFA specialists walked through the restrictions and responsibilities outlined in each section of the rule and discussed areas where they see the most deficiencies. The Web seminar also addressed supervisory requirements for Members, including supervision of electronic communications, and described NFA's pre-review program.

How to File Part 4 Exemptions Using NFA's New Web-based Electronic System On February 15, 2007 NFA hosted a one-hour Web seminar entitled, "How to File Part 4 Exemptions Using NFA's New Web-based Electronic System". The CFTC amended its rules to require CPOs, CTAs and non-registrants to file their Part 4 exemptions with NFA electronically. The Web seminar walks through the process of filing an exemption using the new system, including an overview of the exemptions available and how to manage exemption filings.

Arbitrator Training Web Seminar On November 1, 2006 NFA hosted an Arbitrator Training Web Seminar. NFA's Arbitration staff discussed a number of arbitrator-related issues including pre-hearing conferences, conflicts of interests, and recent changes and additions to NFA's Code of Arbitration and Member Rules. As you may know, NFA arbitrators must participate in an arbitration-related training program every three years. If you were unable to view the seminar live, please note that viewing the archived seminar will also satisfy your mandatory training requirement.

Anti-Money Laundering Web Seminar On September 28, 2006 NFA conducted a one-hour Web seminar entitled, "Anti-Money Laundering". NFA's Compliance and Legal staff discussed anti-money laundering requirements for FCMs and IBs, focusing on Customer Identification Programs, Suspicious Activity Reporting and information sharing requirements. The Web seminar also addressed common AML audit deficiencies and how to correct them. The program concluded with a question and answer session. Please note that this web-based training does not satisfy a firm's AML training requirement.

How to File Pool Financial Statements Using NFA's EasyFile System On March 14, 2006 NFA conducted a one-hour Web seminar entitled, "How to File Pool Financial Statements Using NFA's EasyFile System." The Web seminar walks CPOs through the process of filing a pool financial statement using EasyFile, focusing on the financial balances that CPOs must enter into the Web-based system.

Preparing for an NFA Audit On January 31, 2006 NFA conducted a one-hour Web seminar entitled, "Preparing for an NFA Audit." During the seminar NFA staff gave an overview of the audit process, shared some tips on how to prepare for an audit and discussed some of the most common deficiencies found by NFA auditors.

NFA Web Seminar on ORS and EasyFile On November 1, 2005 NFA conducted a one-hour Web seminar entitled, "Fulfilling Your Regulatory Responsibilities More Efficiently with NFA's Online Registration System, EasyFile and Other Electronic Filing Systems." During the seminar NFA staff discussed common registration errors and how they can be avoided, and gave a demonstration of filing a pool financial statement through EasyFile.

Privacy Rules: What Every NFA Member Needs to Know This 20-minute program outlines Members’ regulatory obligations regarding the new Privacy Act Rules. The presentation reviews the new regulation, defining some of the terms used in the regulation and providing some examples of how the regulation might apply to a Member’s business operations.

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